For wealth managers and financial institutions, regulatory compliance is no longer optional – it’s a daily operational necessity. Between MiFID II, FIDLEG, and local supervisory requirements, firms are under constant pressure to document, monitor, and justify every investment decision they make.
The challenge? These demands are time-consuming, complex, and costly – especially without the right tools in place.
INSA PMS is built to reduce your compliance burden while increasing transparency, control, and peace of mind.
The Real Cost of Compliance
Regulatory frameworks like MiFID II and FIDLEG require financial firms to ensure:
- Investment suitability and appropriateness
- Transparent client communication
- Documented advice and decision-making
- Risk profiling and strategy alignment
- Post-trade controls and audit trails
Without automation, meeting these standards consumes massive internal resources, distracts advisors from client service, and exposes firms to operational risk.
INSA as a Compliance Enabler
INSA PMS embeds compliance functions directly into your portfolio management workflows, so regulatory obligations are met automatically – not as an afterthought.
Here’s how:
🛡 Suitability & Appropriateness Checks
Every investment proposal can be evaluated in real-time against the client’s risk profile, investment horizon, and predefined strategy.
✔ Integrated questionnaires
✔ Strategy-matching logic
✔ Alerts for violations
📋 Audit-Proof Documentation
All client interactions, recommendations, decisions, and related documents are logged and archived in line with audit and supervisory standards.
✔ Meeting notes
✔ Document attachments
✔ Call logs
✔ Linked investment actions
🔍 Pre-Trade & Post-Trade Controls
Compliance checks are performed before and after trade execution:
✔ Investment restrictions
✔ Asset class limits
✔ Mandate breaches
✔ Regulatory thresholds (e.g., 10% holding rules)
📊 Client & Regulator-Ready Reporting
Generate reports that prove suitability, compliance, and transparency – instantly.
✔ Risk and strategy alignment
✔ Fee breakdowns
✔ Portfolio drift alerts
✔ MiFID II/FIDLEG reporting templates
Use Case: Swiss Independent Asset Manager
A Zurich-based firm managing discretionary mandates implemented INSA’s compliance modules and reduced:
- Internal compliance queries by 60%
- Manual documentation workload by 70%
- Time spent on audit preparation by 50%
All while improving client trust and passing regulatory reviews with zero findings.
Built for the Regulated Future
As regulators increase pressure and clients demand more transparency, INSA helps firms turn compliance from a burden into a value-added service.
With modules that adapt to Swiss, EU, and global standards – and update as regulations evolve – you’re not just compliant. You’re compliance-ready.
📩 Want to simplify your compliance processes and lower operational risk?
Let us show you how INSA PMS can help.
📧 info@insa-software.com | 📞 +41 44 221 30 20